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FINRA Seeks to Beef-Up Use of BrokerCheck

Category Archives: News

13
Feb

FINRA Seeks to Beef-Up Use of BrokerCheck

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February 13, 2014 By Trevor Hunnicutt Investmentnews.com Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications to BrokerCheck, the database that includes broker disciplinary records. The Financial Industry Regulatory Authority Inc. would require brokerage firms to display links to BrokerCheck, “on ...

26
Jun

IIED Defense Case in the Westword/Tom Martino

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Successful Outcome for the Tom Martino case on summary judgment: http://blogs.westword.com/latestword/2013/01/tom_martino_bankruptcy_settlement_negotiations_lawsuit.php?page=2...

19
Mar

Court Ruling Goes Against Securities America

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Investmentnews.com Late Friday afternoon, a federal judge in Dallas failed to approve a $21 million class action settlement between Securities America Inc. and clients suing the firm over private placement investments that went bust. The hearing for the proposed settlement was closely watched. As part of the proposed settlement, dozens of clients suing Securities America in ...

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